Microsoft Word - 2017 5310 Information 061417.docx



State of HawaiiDepartment of Transportation Statewide Transportation Planning OfficeCAPITAL ASSISTANCE FOR THE TRANSPORTATION OF THE ELDERLY AND DISABLEDIn accordance to 49 USC Section 5310APPLICATION INFORMATION16106081400362021 Deadline to submit application is June 25, 2021 BackgroundIn 1990, the American with Disabilities Act (Public Law 101-366), often referred to as ADA, was signed into law. In part, this civil rights legislation mandates equal opportunity in employment, telecommunications, transportation, and places of public accommodation for persons with disabilities. In addition to providing equal opportunities for individuals with disabilities is the requirement to providing “accessibility” in transportation.The U.S. Department of Transportation (USDOT) published its final ruling implementing the ADA provisions requiring that after August 25, 1990, public and private transportation providers must, with some exceptions, solicit or procure accessible vehicles. These rules apply to both public and private providers regardless of whether transportation is a primary or ancillary function, and covers both fixed-route and demand-responsive transportation operations. For more details on ADA requirements relating to transportation, refer to the September 6, 1991 Federal Register, Part IV Department of Transportation, 49 Code of Federal Regulations (CFR) Parts 27, 37 and 38 Transportation for Individuals with Disabilities; Final Rule.The Age Discrimination Act was passed in 1975 (42 USC Section 6101). This legislation mandates that no person shall be excluded from participation in, be denied the benefits of, or be subjected to discrimination under, any program or activity receiving Federal financial assistance on the basis of age.In pursuing the intent and requirements of American Disabilities Act and the Age Discrimination Act, the USDOT initiated 49 USC Section 5310 assistance program that makes federal funds available to provide transportation services for elderly persons and persons with disabilities. The 49 USC Section 5310 federal assistance program is administered and managed by the Federal Transportation Administration (FTA). The FTA has designated the Governor of the State of Hawaii to administer the 49 USC Section 5310 program on its behalf. The Governor of Hawaii designated the Hawaii Department of Transportation (HDOT) as the recipient of FTA 49 USC Section 5310 program for the purpose of administering those funds in accordance with State and federal laws, rules and regulations. PurposeThe goal of the 49 USC Section 5310 federal assistance program, better known as Section 5310, is to provide assistance in meeting the special transportation needs of elderly persons and persons with disabilities. The Section 5310 program is designed to supplement other FTA capital assistance programs, such as the Section 5307 and Section 5311 programs that provide federal funding assistance to public transportation systems, by funding transportation for elderly persons and persons with disabilities in all areas – urbanized, small urban and rural. The program seeks to enhance coordination of federally assisted programs and services in order to encourage the most efficient use of Federal resources and achieve the national goal of improved mobility for elderly persons and persons with disabilities.FTA Coordinated Public Transit – Human Services Transportation PlanFederal transit law, as amended by SAFETEA-LU, requires that projects funded from FTA Section 5310, Section 5316 (Job Access and Reverse Commute), and Section 5317 New Freedom) programs be derived from a locally developed, coordinated public transit – human services transportation plan. This coordinated plan maximizes the programs’ collective coverage my minimizing duplication of services. The coordinated services plan was developed through the process that includes representatives of public, private and non-profit transportation and human services providers and participation by the public. The coordinated plan may incorporate activities offered under other programs sponsored by Federal, State and local agencies to strengthen its impact, and participation in coordinated service delivery as long as the coordinated services continues to meet the purposes of all programs. Eligible ProjectsThe FTA Section 5310 program provides assistance for the purpose of providing transportation services in meeting the special needs of elderly and disabled persons where mass transportation services are unavailable, insufficient, or inappropriate.The Section 5310 program provides several eligible uses that qualify for federal assistance. The HDOT, hereafter referred to as the Department, has determined the most effective and efficient use of these funds are for capital purchases that provide for the transportation service needs of the elderly and disabled. For this reason, eligibility is restricted to two capital uses –motor vehicle purchases, and (2) motor vehicle equipment purchases.The capital purchases must be for accessible motor vehicles, or equipment for accessible motor vehicles. However, purchases for non-accessible vehicles or equipment are eligible, when Equivalent Service is provided. The following is an outline of eligible motor vehicle expenditures, by organization type and transportation service:Private Non-Profit Organizations – Not Primarily Engaged in the Provision of TransportationFixed Route ServiceAll motor vehicles with capacity > 16 must be accessibleAll motor vehicles with capacity < 16 must be accessible unless equivalent service is providedDemand Responsive ServiceAll motor vehicles must be accessible unless equivalent service is providedPrivate Non-Profit Organizations – Primarily Engaged in the Provision of TransportationFixed Route ServiceAll motor vehicles must be accessibleExcept automobiles where equivalent service is providedExcept vans with capacity < 8 where equivalent service is providedDemand Responsive ServiceAll motor vehicles must be accessible unless equivalent service is providedPublic EntitiesFixed Route ServiceAll motor vehicles must be accessibleDemand Responsive ServiceAll motor vehicles must be accessible unless equivalent service is providedThe proposed capital expenditure, hereafter called the Project, must be consistent with the aforementioned eligible expenditures in order to receive funding assistance. Funding RequirementsThe Section 5310 program provides a maximum of 80 percent federal funding assistance of the Project's total cost. The remaining 20 percent of the Project's total cost must be provided by the Applicant Organization from non-Federal funding sources. Once an Applicant Organization is approved to receive FTA funding for the approved Project, it is then referred to as the Sub-Recipient. Eligible Project UsesPrimary Use is defined as the transporting of elderly individuals and/or individuals with disabilities. Projects, such as motor vehicles or vehicle equipment, purchased with Section 5310 funds do not have to be solely used for the Primary Use. Projects not used for transporting of elderly individuals or individuals with disabilities are defined as Incidental Use. Incidental Use cannot interfere with the Primary Use of the Project. Eligible OrganizationsSection 5310 program funds are intended for use by Private Non-Profit Organizations or eligible Public Entities in providing transportation services to elderly individuals or individuals with disabilities.Public Entities are eligible for federal assistance under the Section 5310 program upon certifying that there are no private non-profit organizations already providing or readily available to provide the proposed transportation service to elderly individuals or individuals with disabilities.The following are eligible applicant organizations:Private Non-Profit Organizations – Not Primarily Engaged in the Provision of TransportationAny private non-profit organization that is not a state or local government; and department, agency, special purpose district, or other instrumentality of one or more state or local governments that are not primarily engaged in the provision of transportation, but do provide transportation services to the elderly or disabled.The applicant Private Non-Profit Organization is required to submit proof of non-profit status by either a copy of the current annual Domestic Non-Profit Corporation Exhibit from the State Department of Commerce and Consumer Affairs or a Non-profit Status Letter from the Internal Revenue Service; and Documentation of Incorporation.Public EntitiesAny state or local government; and department, agency, special purpose district, or other instrumentality of one or more state or local governments provided there are no non-profit private entities already providing or readily available to provide the proposed transportation service.The public entity is required to submit evidence that there is no competing non-profit entity providing similar service. The applicant public entity must certify by letter signed by the Director of the agency and the Mayor of the County to the Department there are no non-profit corporations or associations already providing or readily available to provide the proposed transportation service to elderly persons and persons with disabilities.Duplication of Transportation Services RequirementIn providing effective and efficient use of Section 5310 federal assistance, Applicant Organizations are required to provide verification and proof that similar services of transporting the elderly or disabled is not being provided by another organization. Project Use RequirementsProject UseThe Project must be used as described in the application, and in accordance with all applicable Federal, State and local requirements.If the Sub-Recipient does not use the Project as described in the application or in accordance to applicable Federal, State and local requirements, the Department may remove the Project from the Sub-Recipient. The Sub-Recipient will not be compensated for any capital costs related to the removal of the Project, and may be removed from any future consideration for Section 5310 program funding assistance.Project Not-In-ServiceIf the Project is not in use for a period longer than two weeks, the Sub-Recipient is required to immediately notify the Department. The Sub-Recipient at the time of notifying the Department shall provide the cause for the Project not being in use, efforts taken to get the Project back in service, and when the Project will be back in service. The Department may consider the Sub-Recipient’s inability to get the Project back in service as being non-compliant with the maintenance requirement.Project TitleThe title to the Project, motor vehicle or equipment, acquired under the Section 5310 Program will be vested with the Sub-Recipient.Project Use RecordsThe Sub-Recipient must keep operation records of the Project. Operation records must be kept for both primary and incidental use, in terms of ridership, trip destination, passenger characteristics, accidents and incidents. The records must also be traceable to the costs and revenues linked to the operations of the Project, including primary and incidental uses.Project InsuranceThe Project purchased with Section 5310 funding assistance is required to have full insurance coverage for the capital cost of the Project for the use of the Project. The Sub-Recipient is responsible for the insurance mercial Driver’s License (CDL)Anyone that drives motor vehicles or vehicles containing equipment purchased with Section 5310 funds is required to have a CDL for either a single motor vehicle with a gross vehicle weight rating (GVWR) of more than 26,000 pounds, or a motor vehicle designed (base configuration) to transport more than 16 persons, including the mercial Vehicle PermitBy State requirement, vehicles over the GVWR of 10,000 pounds must have a commercial vehicle permit. The commercial vehicle permit is the responsibility of the Sub-Recipient.Project ProfitIf Project use or disposition provides a revenue profit, the profits must be reinvested into the sub- recipient’s transportation services for the elderly or persons with disabilities or turned over to the Department where it will be utilized for transit. Project Maintenance RequirementsMaintenanceThe Sub-Recipient must properly maintain the Project at all times and keep the Project in safe operational condition for the use describe in the application, and in accordance with all applicable Federal, State and local requirements. All costs for Project maintenance are the responsibility of the Sub-Recipient.If the Sub-Recipient does not maintain the Project as described in the application or in accordance to applicable Federal, State and local requirements, the Department may remove the Project from the Sub-Recipient. The Sub-Recipient will not be compensated for any capital costs related to the removal of the Project and may be removed from any future consideration for Section 5310 program funding assistance.Maintenance and Preventive Maintenance RecordsThe Sub-Recipient must keep vehicle maintenance and preventive maintenance records of the Project. Maintenance records include Pre- and Post-trip Inspection, regular maintenance and repair records. Preventive Maintenance records include scheduled vehicle maintenance work at set intervals over the life of the vehicle. These records shall include and/or consist of invoices and certified mechanic reports and assessments. Project Service Life & Disposition RequirementsVehicle Service LifeMotor vehicles purchased with Section 5310 funds must be used as described in the application, and in accordance with all applicable Federal, State and local requirements for a minimum period here after referred to as the Vehicle Service Life. Vehicle Service Life is defined as follows:Light-duty motor vehicles such as automobiles, small buses and small vans: 5 years or 100,000 miles.Medium-size, light-duty transit buses (approximately 25’-30’): 6 years or 150,000 miles.Medium-size, medium-duty transit buses (approximately 30’): 8 years or 200,000 miles.Small-size, heavy-duty transit buses (approximately 30’): 10 years or 350,000 miles.Large-size, heavy-duty transit buses (approximately 35’ – 40’, and articulated buses): 12 years or 500,000.For any other type of motor vehicle contact the Department.Even if the Vehicle Service Life has been met, the Project may only be removed from its use as described in the application, and in accordance with all applicable Federal, State and local requirements, through Section 5310 Disposition or De-obligation process, which requires written approval from the Department.Equipment Service LifeEquipment purchased with Section 5310 funds must be in service with the Sub-Recipient for a minimum period here after referred to as the Equipment Service Life. All equipment purchased with Section 5310 funds shall have an Equipment Service Life of at least 4 years. If the equipment has a service life less than 4 years, the Applicant Organization must provide information on the Equipment’s Service Life at the time of application submittal.Project DispositionThe Project must be used and operated as described in the application and meet all applicable Federal, State and local requirements. The Project may be removed from this obligation and agreement only when the Sub-Recipient has received written disposition or de-obligation approval from the Department.Projects may only be disposed of when the intended purpose under the Service Life has been met and the Project can no longer be operated safely, efficiently and effectively. However, if there are reasons by the Sub-Recipient for Project removal other than the aforementioned, the sub- recipient shall request and receive approval from the Department to proceed with removing the Project from application use and applicable Federal requirements. If the Department approves Project removal, the Sub-Recipient shall proceed with the disposition process.Before any disposition proceedings take place, the Department must be contacted for disposition consultation, requirements and procedures. Project disposition is allowed only after written approval from the Department.If the Project is in operational condition as determined by the Department and the Sub-Recipient disposes the Project before the Service Life, the Department can reassign the Project to another qualified organization. The dollar value of the Project shall be determined by the Straight-Line Depreciation Method and twenty percent (20%) of the determined dollar share shall be provided to the Sub-Recipient by the Department.If the Project is disposed before the Service Life and the Project is not in operational condition as determined by the Department, the Sub-Recipient shall reimburse the Department eighty- percent (80%) of the project’s value determined by the Straight-Line Depreciation Method.If the Sub-Recipient disposes the Project after the Service Life and obtains revenue, eighty- percent (80%) of the revenue proceeds must be utilized for the Sub-Recipient’s transportation services. Or, eighty percent (80%) of the revenue proceeds must be returned to the Department.The Sub-Recipient may sell or trade-in the motor vehicle before its Service Life, when acquiring “like-kind” replacement vehicles (i.e., generally the same class of transit vehicle). The process to acquire “like-kind” vehicles will be the same procedure as acquiring new vehicles – the Section 5310 application process. Proceeds from the sale of the vehicle must be applied towards the purchase cost of the replacement vehicle. Sub-recipients interested in the sale or trade-in of a vehicle must contact the Department for consultation, requirements, and procedures before any proceedings take place. Accessible RequirementsAccessibilityThe Section 5310 program requires that all Projects utilizing Section 5310 funds must be accessible. The American Disabilities Act requires compliance with specific service provisions related to accessible transportation services. The accessible service provisions are listed:Lift and securement useLift deployment at any designated stopService to persons using respirators or portable oxygenAdequate time for vehicle boarding and disembarkingIngress and egress assistance to disabled clientsService animalsUse of accessibility featuresProcedures to ensure lift availability, public entities onlyVehicle identification mechanismsNon-Accessibility ExemptionThe exception to the accessible requirement is the condition that the Applicant Organization’s transportation service, when viewed in its entirety, provides service to persons with disabilities, called Equivalent Service. Therefore, if other motor vehicles currently in the Applicant Organization’s inventory are accessible or a cooperative agreement with another organization that provides accessible services to the Applicant Organization’s clients, then non-accessible equipped vehicles may be proposed in the application provided Equivalent Service is provided and attested in the application. Sub-Recipient Organization RequirementsManagerial CapabilitiesA Sub-Recipient shall have the management capability to operate and maintain the proposed Project. Sub-Recipients must continue to provide full managerial capabilities to safely and efficiently operate, maintain and dispose the Project in accordance to the Section 5310 program requirements. Annual and Quarterly reports are required to be submitted by the Sub- Recipient to the Department on a timely basis. Documents must be accessible for FTA and the Department compliance reviews which serve to assess and determine the continuing managerial capabilities of the Sub-Recipient.Financial CapabilityThe Applicant Organization must have the fiscal capacity to provide the 20% (using non-Federal funds) cost share and to properly operate and maintain the vehicle or equipment.The Sub-Recipient must also have the financial capability necessary to comply with all Section 5310 program and federal requirements. The financial record keeping of the Sub-Recipient's transportation program operations, maintenance, and the Project use shall allow for the tracing of funds to establish that such funds have not been used in violation of the Section 5310 program and federal requirements.The Sub-Recipient’s continuing financial competency and capability shall be provided to the Department by quarterly and annual reports and by compliance reviews.ReportingThe Federal Fiscal Year from October – September is observed as the FTA accounting and reporting period. The four quarters (1st, 2nd, 3rd, and 4th) of the Federal Fiscal Year are Oct-Dec, Jan-Mar, Apr-June, July-Sept; respectively.All Sub-Recipients are required to submit to the Department their “Quarterly Vehicle Report” within 15-days of the end of each federal quarter. The “Annual Vehicle Report” and the “Annual Performance Measure Report for Gaps in Service and Ridership” must be submitted within 15 days of the end of the federal fiscal year. The purpose of these reports is to provide assurance that the Sub-Recipient is demonstrating compliance with the Section 5310 program, by providing the Project and maintenance information on the Project.Failure to submit these reports may be deemed as non-compliance with the Section 5310 Program, which may result in forfeiture of the Project and disqualification from future federal assistance opportunities.Site InspectionThe purpose of the site inspection is to provide assurance that the Project is being operated and maintained in accordance to the requirements of the Section 5310 Program, and the Sub- Recipient has adequate financial, management and legal capabilities. The site inspection shall be conducted at the Sub-Recipient’s place of business.At the site inspection, persons capable of providing the required information regarding the operations, maintenance, records, financial, management and legal capabilities of the Section 5310 program shall be made available to the site inspection team. Site inspections will be conducted with prior notification and arrangement with the Sub-Recipient organization.Failure to meet with the Department for site inspections shall be determined as non- compliance with the Section 5310 Program and may result in the forfeiture of the Project and disqualification from future federal assistance opportunities. Application ProceduresWhen an announcement of FTA 5310 Program Application is made by the Department, Applicant Organizations are required to complete and submit all required documents by the deadline stated on the application. Any late or incomplete application may be rejected from consideration for the Section 5310 program.All completed applications must be faxed, postmarked, or received by Friday, June 25, 2021 at 2:00 p.m. at the following address:Hawaii Department of Transportation Statewide Transportation Planning Office 200 Rodgers BoulevardHonolulu, Hawaii 96819 Attention: Section 5310 ProgramFax: (808) 831-7995The Department will review all applications for completeness and consistency with the Section 5310 Program requirements. An Evaluation and Selection Committee will be convened to review qualified applications and recommend approval to the Director of Transportation.The Evaluation and Selection Committee will evaluate and rank the qualified Applications utilizing the following equally weighted Evaluation Criteria:Applicant Organization’s Effectiveness of Transportation Program in meeting the transportation needs of the elderly and/or disabled.Applicant Organization’s Appropriateness of Project in meeting the transportation needs of the elderly and/or disabled.Applicant Organization’s Financial Capability for the local match, and to operate and maintain the Project and the transportation program for the elderly and/or disabled.Applicant Organization’s Management and Operations Capability to operate and maintain the transportation program to the elderly and/or disabled.If the Applicant Organization has previously received Section 5310 funding assistance, additional information, including to but not limited to, compliance review findings, site inspection documents and reporting records will be used in the evaluation of the Application.Applications recommended by the Evaluation and Selection Committee and approved by the Director of Transportation shall be submitted to the FTA in a consolidated grant application for the FTA Section 5310 approval. Award ProceduresAfter FTA 5310 grant approval is received from the FTA, the Department shall notify the Applicant Organizations that they have been approved for Section 5310 funding assistance. The Applicant Organization after receiving approval for Project funding is here after called the Sub-Recipient. The Section 5310 Program requires that the Sub-Recipient complete and provide the following documents to the Department:Memorandum of AgreementCertifications and AssurancesFTA Master AgreementIf the Sub-Recipient fails to submit the aforementioned documents by the specified due date, the Department may rescind the approved Application.Upon receipt of the required documents, the procurement of the Project shall proceed.During procurement the Sub-Recipient will be requested to submit their share of the Project cost to the Department. The Sub-Recipient’s share of the Project cost will be based upon the actual Project cost, not the estimated Project cost specified in the application.If the Sub-Recipient does not submit the required share of the Project cost by the specified deadline date, the Department may rescind the approved application and funding assistance.After procurement award, the Department will notify the Sub-Recipient of the Contractor that will provide and deliver the Project.Upon delivery, the Sub-Recipient and the Department must verify that the Project meets the specifications provided. The Department shall accept the Project only after certifying the verification of all Project specifications. The Sub-Recipient shall not operate the Project until the Department accepts the Project. TerminologyApplicant Organization - Organization applying for FTA FundingContractor - The individual, partnership, corporation or other legal entity, or combination thereof, contracting within the State for performance of the prescribed work.Department - Hawaii Department of Transportation (HDOT)Disability - In accordance to section 3(1) of the Americans with Disabilities Act of 1990 (42 U.S.C. 12102) the meaning of disability respect to an individual isa physical or mental impairment that substantially limits one or more major life activities of such individuala record of having such an impairment; orbeing regarded as having such an impairment.Elderly - All individuals 65 years and overEquipment Service Life - The number of years equipment shall be in use for the Project. The minimum is four (4) years.FTA - Federal Transit AdministrationIncidental Use - The use of equipment or facilities purchased under this grant program other than the principal grant related usePrimary Use - The transporting of elderly individuals and/or individuals with disabilities.Project - Proposed capital expenditureRural Area - An area with a population of fewer than 50,000 individualsSingle Trip - A unit of service provided each time a rider boards, is transported, and exits a vehicle. For example, if a rider is picked up from their home to the doctor, from the doctor to the market, and from the market to their home, then the total number of single trips will be three (3). Similarly, if three riders are picked up from the same day care and transported to the same doctor's office, the total number of single trips will be three (3).Small Urbanized Area - An with a population between 50,000 and 199,999individualsSub-Recipient - An eligible and approved Applicant Organization for FTA fundingUnduplicated Riders - The actual number of riders who took a single trip during a reporting period, no matter how many trips they took during that period.Urbanized Area - An area with a population of 200,000 or more ................
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